Award FINRA Dispute Resoiution In the Matter of the Arisitration Between: Peter Kearns (Claimant) v. NeoNet Securities, Inc. (Respondent) Case Number: 08-00656 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTiES Claimant Peter Kearns hereinafter referred to as "Claimant": Brian Kennedy, Esq., Law Office of Brian Kennedy, New Yort^, NY. Respondent NeoNet Securities, Inc.. hereinafter referre

Award FiNRA Diapute Resolution In the Matter of the Arbitration Between: UBS Financial Sen/ices Inc. (Claimant) vs. Kevin P. O'Neil (Respondent) Case Number: 07-02997 Hearina Site: Hartf'ord, Connecticut Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services Inc., hereinafter referred to as "Claimant": Frank J. Vitolo, Esq., Riker, Danzig, Scherer, Hyland & Perretti. LLP. Morhstown, NJ. Respond

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02368 Robert Tillman ("Claimant") vs. The Sonterra Group, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, San Antonio. TX. For Respondent appeared Roger Festor, The Delta Company, San Antonio, TX. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: July 8, 2008 CASE SUMMARY; Claimant alleged that he has not received compensation owed for February 1, 2007 through Feb

FINRA DISPUTE RESOLUTION AWARD FINFW^ DISPUTE RESOLUTION CASE: 08-00569 Glendale Securities, Inc. ("Claimant") vs. North American Clearing Inc., Bruce Blatman and Wendy Epps ("Respondents") ATTORNEYS: For Claimant appeared Scott G. Monson, Esq., Sherman Oaks, CA. For Respondents Bruce Blatman and Wendy Epps appeared Richard Goble, Esq., Longwood, FL. NATURE OF DISPUTE: Member vs. Member and Associated Person DATE FILED: February 28, 2008 CAS

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02440 Neal Kobiitz and Ann Hibner Koblitz, C'Claimants") vs. WM Financial Services a/k/a WAIVIU Investments inc., ("Respondent") ATTORNEYS: Claimants appeared pro so, Seattle, WA. For Respondent appeared Christopfier Wells. Esq.. of tiie firm Lane Powell PC. Seattle, WA. NATURE OF DISPUTE: Customers vs. iWember DATE FILED: July 15. 2008 CASE SUMi^ARY: Claimants alleged that Res

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claima^it John B. Carpenter, Sr. vs. Case Number: 05-05474 Hearing Site: Detroit, Michigan Names of Respondents Royal Alliance Associates. Inc. and Steven F. Muntin MATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESEiaTATIQN OF PARTIES John B. Carpenter. Sr. ("Claimant") was represented by Anthony V. Trogan. Esq., Anthony

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alice Perdue (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 08-01799 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Alice Perdue hereinafter refened to as "Claimant" appeared pro se. Respondent Merrill Lynch, Pierce, Fenner & Smith, inc., hereinafter referred to as "Respondenf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Cohen (Claimant) vs. Trinity Trading Corporation and James Bovino (Respondents) Case Number: 08-00660 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert Cohen hereinafter referred to as "Claimant": Anthony Carabba, Jr., Esq., Carabba Locke LLP. New York, NY. Respondents

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02191 Banc of America investment Services, inc. ("Claimant") vs. Jennifer S. Johnston ("Respondent") ATTORNEYS: For Claimant appeared Diane C. Fischer Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent appeared Pro se, Seattle, WA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 2, 2008 CASE SUMMARY.- Claimant alleged failure to honor temis of Series 7 Agreement.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02987 Options House, Inc., ("Claimant") vs. Karma Mulliner. ("Respondent") ATTORNEYS: For Claimant appeared Lesley G. Smith, Esq.. of the firm Schopf & Weiss LLP. Chicago, IL. Respondent appeared pro se, Santa Clara, UT. NATURE OF DISPUTE: Member vs. Customer DATE FILED: August 20. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed as a result of a